- #CCOsGoingViral: An Analysis of SEC and FINRA Enforcement Actions Against Compliance Officers, Written for Millennials (and those who work with Millennials)
- August 2, 2017 | Author: Brian L. Rubin
- Law Firm: Eversheds Sutherland (US) LLP - Washington Office
Practical Compliance & Risk Management for the Securities Industry
Chief compliance officers are often targets of the SEC and FINRA in disciplinary proceedings. To try to make those actions come alive to younger lawyers, compliance officers, supervisors and others, this article for Practical Compliance & Risk Management for the Securities Industry, written by Eversheds Sutherland (US) Partner Brian Rubin, uses hashtags, Internet memes, catch phrases and other pop culture references to analyze recent cases.Just as all citizens should stay #woke in an ever-changing world, compliance officers of broker-dealers and investment advisers must stay hip to enforcement trends as they carry out the momentous task of helping their firms comply with securities laws and regulations.